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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-04-18
CT RA APPROVED 2025-01-24
TX RA APPROVED_RES 2025-01-24
  • FL RA
    APPROVED
    Since 2025-04-18
  • CT RA
    APPROVED
    Since 2025-01-24
  • TX RA
    APPROVED_RES
    Since 2025-01-24

Branch Locations

250 State Street Suite B-1, North Haven, CT 06473 • United States

77 Hartland Street Suite 400, East Hartford, CT 06108 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lincoln Financial Securities Corporation East Hartford CT 08/2016 01/2025
Osaic Wealth, Inc. East Hartford CT 01/2025 Present
  • 08/2016 → 01/2025
    Lincoln Financial Securities Corporation
    East Hartford, CT
  • 01/2025 → Present
    East Hartford, CT
Previous Registrations
  • 2016-08-12 → 2025-01-24
    Osaic Fs, Inc.
    East Hartford, CT
    North Haven, CT
  • 2010-02-08 → 2016-08-15
    Investors Capital Corp.
    Lynnfield, MA
    East Hartford, CT
    Lynnfield, MA
  • 2003-09-10 → 2010-02-11
    Tower Square Securities, Inc.
    Vernon, CT
    E. Hartford, CT
  • 1994-10-11 → 2003-10-21
    Veravest Investment Advisors, Inc.
    Glastonbury, CT
Other Businesses

1) Germano Financial, LLC 77 Hartland Street, Suite 400 East Hartford, CT 06108 INVESTMENT RELATED: YES TITLE: AGENT/OWNER DUTIES: OFFER TAX PREPARATION SERVICES AS WELL AS FIXED INSURANCE PRODUCTS, SUCH AS FIXED AND INDEXED ANNUITIES, DISABILITY, LONG-TERM CARE, AND TRADITIONAL LIFE INSURANCE. START DATE: 01/01/1991 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 5 2) FRANK GERMANO/JFJ WEALTH MANAGEMENT LLC. 77 Hartland Street, Suite 400 East Hartford, CT 06108 CATEGORY: LEGAL ENTITY/LLC INVESTMENT-RELATED: NO TITLE: PARTNER/OWNER DUTIES: OWN/MANAGE LLC FOR EXPENSES START DATE: 01/2019 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 2. 3) FRANK GERMANO/EUGENE W. HARRIS & CO. WEALTH MANAGEMENT LLC 250 STATE STREET STURBRIDGE COMMONS UNIT B-1 NORTH HAVEN, CT CATEGORY: INSURANCE/LLC INVESTMENT-RELATED: YES TITLE: OWNER DUTIES: OFFER LONG-TERM CARE AND TRADITIONAL LIFE INSURANCE; FIXED AND INDEXED ANNUITIES START DATE: 1/2019 HOURS PER MONTH: 25 HOURS PER MONTH DURING TRADING HOURS: 25 4)GERMANO FINANCIAL LLC 77 Hartland Street, Suite 400 East Hartford, CT 06108 CATEGORY: INSURANCE/LLC INVESTMENT RELATED: YES TITLE: OWNER/AGENT DUTIES: OWNER OF LEGAL ENTITY THROUGH WHICH INSURANCE PRODUCTS ARE OFFERED AND MARKETED. PRODUCTS INCLUDE FIXED AND INDEXED ANNUITIES, LONG-TERM CARE, AND TRADITIONAL LIFE INSURANCE. START DATE: 1/1/19 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 5 5)HARRIS & CO. WEALTH MANAGEMENT 250 STATE ST. STURBRIDGE COMMONS UNIT B-1, NORTH HAVEN, CT 06473 CATEGORY: INSURANCE/LLC INVESTMENT RELATED: YES TITLE: OWNER/AGENT DUTIES: CO-OWNER OF LEGAL ENTITY THROUGH WHICH INSURANCE PRODUCTS ARE OFFERED AND MARKETED. PRODUCTS INCLUDE FIXED AND INDEXED ANNUITIES, LONG-TERM CARE, AND TRADITIONAL LIFE INSURANCE. START DATE: 1/1/19 HOURS PER MONTH: 25 HOURS PER MONTH DURING TRADING HOURS: 25

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-07-06
  • S63 Uniform Securities Agent State Law Examination
    1994-07-06
Designations

View on SEC IAPD

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